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Substitution of Benzotriazole UV
Absorbers in Plastics: 4/2021 Update
Jim Botkin
Originally presented at the
SPE Thermoplastic Elastomers TOPCON,
September 20, 2018
Benzotriazole UV Absorbers
• Widely used as light stabilizers in plastics and coatings
• Function by competitive absorption of harmful UV light
• Products with wide range of secondary properties (e.g.
physical form, volatility, melting point) are available
• Phase-out and substitution of some products is being
driven by regulatory developments in Europe
Outline
• Affected products and regulatory status
• Rationale for regulation:
Persistence, Bioaccumulation, and Toxicity
• Identifying safer alternatives: hazard assessments
• Preliminary hazard assessment of UV-328 and six
alternative benzotriazoles
AFFECTED PRODUCTS & REGULATORY STATUS
Commercial Benzotriazole UV Absorbers
X R R’
UV-P H H CH3
UV-234 H tert-cumyl tert-cumyl
UV-320 H tert-butyl tert-butyl
UV-326 Cl tert-butyl CH3
UV-327 Cl tert-butyl tert-butyl
UV-328 H tert-pentyl tert-pentyl
UV-329 H H tert-octyl
UV-350 H sec-butyl tert-butyl
UV-360 H CH2-UV-329 tert-octyl
UV-928 H tert-cumyl tert-octyl
Status in the EU: 2014-2015
• UV-328, UV-320, UV-327, & UV-350 on the Candidate
List of Substances of Very High Concern (SVHC)
– Evaluated as persistent, bioaccumulative, and toxic (PBT) and/or
very persistent and very bioaccumulative (vPvB)
– Increased regulatory burden is driving additive users to phase
out their use
• Informal evaluations of five other benzotriazoles initiated
under REACH: Dossier evaluations, PBT assessments,
RMOA
Status in the EU: 2020
• ECHA added UV-328, UV-320, UV-327, and UV-350 to
the REACH Annex XIV List (“Authorisation List”) in
February 2020
– Increased pressure to phase-out due to additional regulatory
requirements
• New bioaccumulation data for UV-P and UV-326
• PBT assessments and RMOA are still not complete for
alternative benzotriazoles
Status of Benzotriazole UV Absorbers
X R R’
UV-P H H CH3
UV-234 H tert-cumyl tert-cumyl
UV-320 H tert-butyl tert-butyl
UV-326 Cl tert-butyl CH3
UV-327 Cl tert-butyl tert-butyl
UV-328 H tert-pentyl tert-pentyl
UV-329 H H tert-octyl
UV-350 H sec-butyl tert-butyl
UV-360 H CH2-UV-329 tert-octyl
UV-928 H tert-cumyl tert-octyl
On the Candidate List of SVHC,
recommended to the Authorisation List
Informal evaluations under REACH –
dossier evaluations, PBT assessments,
RMOA
Status in Other Countries
• Japan Chemical Substance Control Law (CSCL)
– UV-320: Class I Specified Chemical Substance
– UV-327 & UV-350: Monitoring Chemical Substances
– No special restrictions on other benzotriazoles, including UV-328
• USA
– No current assessments by the EPA under TSCA
• Canada
– Screening assessment of UV-328 completed with no further action
• The importance of Europe in global supply chains continues to drive
additive users to replace UV-328 with alternatives
RATIONALE FOR REGULATION:
PERSISTENCE, BIOACCUMULATION, & TOXICITY
Definitions
• Persistence (P) is resistance to environmental
degradation through natural processes
• Bioaccumulation (B) is the tendency of a substance to
accumulate in organisms
• Toxicity (T) is the degree to which a substance can
damage an organism
• PBT (and vPvB) chemicals are of special concern to
regulators such as ECHA and the EPA
Benzotriazoles and PBT
• PBT properties are assessed using standardized tests
• Regulators have set criteria to designate chemicals as
PBT or vPvB based on the test results
• UV-320, UV-327, UV-328, and UV-350 meet the REACH
criteria for PBT and vPvB
• UV-326 meets REACH criteria for vPvB (new data)
• Criteria used by regulators to evaluate chemicals as PBT
and vPvB may be subject to change
IDENTIFYING SAFER ALTERNATIVES:
HAZARD ASSESSMENTS
Hazard Assessment
• Part of a larger alternatives assessment process
• Provides a framework to rank attractiveness of
alternatives based on analysis of hazard data
– Numerical ratings make comparisons easier
• Based on methods developed by or consistent with
those used by regulatory agencies
• Supports informed substitution decisions by additive
suppliers, formulators, and end users
Examples of Hazard Assessment Methods
• GreenScreen® for Safer Chemicals
• Quick Chemical Assessment Tool (QCAT)
• GreenScreen List Translator™
• EPA TSCA Work Plan chemical scoring
GreenScreen® and GreenScreen List Translator™ are trademarks of Clean Production Action
TSCA Work Plan Chemical Scoring
• Hazard (toxicity) Scores (1-3 scale) are assigned based on
data for 10 different toxicological endpoints
• Bioaccumulation (B) scores (1-3 scale) determined using
experimental Bioconcentration Factor (BCF) values
• Persistence (P) scores (1-3 scale) determined based on
degradation half life times
• B and P scores are normalized to give a PB score (1-3 scale)
• The PB and Hazard Scores can be summed to give a Total
Score (2-6 scale)
Benzotriazole Hazard Assessment
• Scope: UV-328 and six alternatives were assessed
• The TSCA Work Plan chemical scoring criteria were applied to
data from the REACH dossiers to obtain Hazard and
Bioaccumulation (B) Scores
• All of the benzotriazoles were assumed to be highly persistent
and assigned Persistence (P) Scores of 3 (high)
• Normalized PB Scores were obtained from the P / B Scores
• Substances were ranked based on the Total Score
(sum of Hazard Score and PB Score)
Hazard Scoring
UV-328 1 - 1 2 1 - 3 - 1 - 3
UV-P 1 1 1 1 1 - 2 - 1 3 3
UV-234 1 - 1 - 1 - 2 - 1 1 2
UV-326 1 1 1 1 1 - 1 - 1 1 1
UV-329 1 - 1 1 1 - 2 - 1 1 2
UV-360 1 - 1 1 1 - 1 - 1 1 1
UV-928 1 - 1 - 1 - 1 - 1 1 1
Values in italics are deemed to be of low confidence
Scoring Summary
Max.
BCF
B Score
UV-328 5,580 3
UV-P 1,623 2
UV-234 1,286 2
UV-326 7,093 3
UV-329 461 1
UV-360 1.5 1
UV-928 (1,286) 2
Values in italics are deemed to be of low confidence
Values in red are based on new data
Scoring Summary
Max.
BCF
B Score P Score
PB
Score
UV-328 5,580 3 3 3
UV-P 1,623 2 3 3
UV-234 1,286 2 3 3
UV-326 7,093 3 3 3
UV-329 461 1 3 2
UV-360 1.5 1 3 2
UV-928 (1,286) 2 3 3
Values in italics are deemed to be of low confidence
Values in red are based on new data
Scoring Summary
Max.
BCF
B Score P Score
PB
Score
Hazard
Score
Total
Score
UV-328 5,580 3 3 3 3 6
UV-P 494 2 3 3 3 6
UV-234 1,286 2 3 3 2 5
UV-326 895 3 3 3 1 4
UV-329 461 1 3 2 2 4
UV-360 1.5 1 3 2 1 3
UV-928 (1,286) 2 3 3 1 4
Values in italics are deemed to be of low confidence
Values in red are based on new data
Comparison of Scores & REACH Criteria
B
Score
P
Score
PB
Score
Hazard
Score
Total
Score
REACH
Criteria
UV-328 3 3 3 3 6 vP, vB, T
UV-P 2 3 3 3 6 vP, not B, not T
UV-234 2 3 3 2 5 vP, not B, not T
UV-326 3 3 3 1 4 vP, vB, not T
UV-329 1 3 2 2 4 vP, not B, not T
UV-360 1 3 2 1 3 vP, not B, not T
UV-928 2 3 3 1 4 vP, not B, not T
Values in italics are deemed to be of low confidence
Values in red are based on new data
Comparison of Bioaccumulation & Toxicity Hazards
UV-328
UV-P
UV-234
UV-329
UV-928
UV-326
UV-360
1,000
5,000
Bioaccumulation
(BCF)
Hazard Score 1
(low toxicity)
Hazard Score 2
(medium toxicity)
Hazard Score 3
(high toxicity)
0
CONCLUSIONS & RECOMMENDATIONS
Conclusions
• Of the alternatives considered, only UV-326 (vPvB)
meets the REACH criteria for identification as PBT or
vPvB based on available data.
• Based on the hazard assessment, the most attractive
alternatives include UV-329, UV-360, & UV-234.
• Bioaccumulation score for UV-928 should be confirmed
in new tests.
• Assessments are subject to change based on new data.
Recommendations
• Consider phase-out of UV-328 (and UV-320, UV-327, UV-350)
in existing applications and avoid use in new applications.
• Hazard assessments can be used to identify other substances
of concern (flame retardants, plasticizers, etc.) and safer
alternatives.
• In today’s regulatory environment, assessing hazards is as
important as assessing performance, cost, and commercial
availability. Make it part of your component selection process.
Thank you for your attention!
Jim Botkin
www.botkinchemie.com
(732) 309-3476
jim@botkinchemie.com
DISCLAIMER: Although the information and recommendations set forth herein (hereinafter "information") are presented in good faith and
believed to be correct as of the date hereof, BotkinChemie makes no representation as to the completeness or accuracy thereof. Information
is supplied upon the condition that persons receiving it will make their own determinations as to its suitability for their purpose prior to its use.
In no event will BotkinChemie be responsible for damages of any nature whatsoever resulting from the use of or reliance upon information.
No representations or warranties either expressed or implied, or merchantability, fitness for a particular purpose or of any other nature are
made hereunder with respect to information for any substance to which information refers. No statements herein are to be construed as
inducements to infringe any valid patent.
This presentation © 2021 James H. Botkin dba BotkinChemie

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Updated Presentation: Substitution of Benzotriazole UV Absorbers in Plastics

  • 1. Substitution of Benzotriazole UV Absorbers in Plastics: 4/2021 Update Jim Botkin Originally presented at the SPE Thermoplastic Elastomers TOPCON, September 20, 2018
  • 2. Benzotriazole UV Absorbers • Widely used as light stabilizers in plastics and coatings • Function by competitive absorption of harmful UV light • Products with wide range of secondary properties (e.g. physical form, volatility, melting point) are available • Phase-out and substitution of some products is being driven by regulatory developments in Europe
  • 3. Outline • Affected products and regulatory status • Rationale for regulation: Persistence, Bioaccumulation, and Toxicity • Identifying safer alternatives: hazard assessments • Preliminary hazard assessment of UV-328 and six alternative benzotriazoles
  • 4. AFFECTED PRODUCTS & REGULATORY STATUS
  • 5. Commercial Benzotriazole UV Absorbers X R R’ UV-P H H CH3 UV-234 H tert-cumyl tert-cumyl UV-320 H tert-butyl tert-butyl UV-326 Cl tert-butyl CH3 UV-327 Cl tert-butyl tert-butyl UV-328 H tert-pentyl tert-pentyl UV-329 H H tert-octyl UV-350 H sec-butyl tert-butyl UV-360 H CH2-UV-329 tert-octyl UV-928 H tert-cumyl tert-octyl
  • 6. Status in the EU: 2014-2015 • UV-328, UV-320, UV-327, & UV-350 on the Candidate List of Substances of Very High Concern (SVHC) – Evaluated as persistent, bioaccumulative, and toxic (PBT) and/or very persistent and very bioaccumulative (vPvB) – Increased regulatory burden is driving additive users to phase out their use • Informal evaluations of five other benzotriazoles initiated under REACH: Dossier evaluations, PBT assessments, RMOA
  • 7. Status in the EU: 2020 • ECHA added UV-328, UV-320, UV-327, and UV-350 to the REACH Annex XIV List (“Authorisation List”) in February 2020 – Increased pressure to phase-out due to additional regulatory requirements • New bioaccumulation data for UV-P and UV-326 • PBT assessments and RMOA are still not complete for alternative benzotriazoles
  • 8. Status of Benzotriazole UV Absorbers X R R’ UV-P H H CH3 UV-234 H tert-cumyl tert-cumyl UV-320 H tert-butyl tert-butyl UV-326 Cl tert-butyl CH3 UV-327 Cl tert-butyl tert-butyl UV-328 H tert-pentyl tert-pentyl UV-329 H H tert-octyl UV-350 H sec-butyl tert-butyl UV-360 H CH2-UV-329 tert-octyl UV-928 H tert-cumyl tert-octyl On the Candidate List of SVHC, recommended to the Authorisation List Informal evaluations under REACH – dossier evaluations, PBT assessments, RMOA
  • 9. Status in Other Countries • Japan Chemical Substance Control Law (CSCL) – UV-320: Class I Specified Chemical Substance – UV-327 & UV-350: Monitoring Chemical Substances – No special restrictions on other benzotriazoles, including UV-328 • USA – No current assessments by the EPA under TSCA • Canada – Screening assessment of UV-328 completed with no further action • The importance of Europe in global supply chains continues to drive additive users to replace UV-328 with alternatives
  • 10. RATIONALE FOR REGULATION: PERSISTENCE, BIOACCUMULATION, & TOXICITY
  • 11. Definitions • Persistence (P) is resistance to environmental degradation through natural processes • Bioaccumulation (B) is the tendency of a substance to accumulate in organisms • Toxicity (T) is the degree to which a substance can damage an organism • PBT (and vPvB) chemicals are of special concern to regulators such as ECHA and the EPA
  • 12. Benzotriazoles and PBT • PBT properties are assessed using standardized tests • Regulators have set criteria to designate chemicals as PBT or vPvB based on the test results • UV-320, UV-327, UV-328, and UV-350 meet the REACH criteria for PBT and vPvB • UV-326 meets REACH criteria for vPvB (new data) • Criteria used by regulators to evaluate chemicals as PBT and vPvB may be subject to change
  • 14. Hazard Assessment • Part of a larger alternatives assessment process • Provides a framework to rank attractiveness of alternatives based on analysis of hazard data – Numerical ratings make comparisons easier • Based on methods developed by or consistent with those used by regulatory agencies • Supports informed substitution decisions by additive suppliers, formulators, and end users
  • 15. Examples of Hazard Assessment Methods • GreenScreen® for Safer Chemicals • Quick Chemical Assessment Tool (QCAT) • GreenScreen List Translator™ • EPA TSCA Work Plan chemical scoring GreenScreen® and GreenScreen List Translator™ are trademarks of Clean Production Action
  • 16. TSCA Work Plan Chemical Scoring • Hazard (toxicity) Scores (1-3 scale) are assigned based on data for 10 different toxicological endpoints • Bioaccumulation (B) scores (1-3 scale) determined using experimental Bioconcentration Factor (BCF) values • Persistence (P) scores (1-3 scale) determined based on degradation half life times • B and P scores are normalized to give a PB score (1-3 scale) • The PB and Hazard Scores can be summed to give a Total Score (2-6 scale)
  • 17. Benzotriazole Hazard Assessment • Scope: UV-328 and six alternatives were assessed • The TSCA Work Plan chemical scoring criteria were applied to data from the REACH dossiers to obtain Hazard and Bioaccumulation (B) Scores • All of the benzotriazoles were assumed to be highly persistent and assigned Persistence (P) Scores of 3 (high) • Normalized PB Scores were obtained from the P / B Scores • Substances were ranked based on the Total Score (sum of Hazard Score and PB Score)
  • 18. Hazard Scoring UV-328 1 - 1 2 1 - 3 - 1 - 3 UV-P 1 1 1 1 1 - 2 - 1 3 3 UV-234 1 - 1 - 1 - 2 - 1 1 2 UV-326 1 1 1 1 1 - 1 - 1 1 1 UV-329 1 - 1 1 1 - 2 - 1 1 2 UV-360 1 - 1 1 1 - 1 - 1 1 1 UV-928 1 - 1 - 1 - 1 - 1 1 1 Values in italics are deemed to be of low confidence
  • 19. Scoring Summary Max. BCF B Score UV-328 5,580 3 UV-P 1,623 2 UV-234 1,286 2 UV-326 7,093 3 UV-329 461 1 UV-360 1.5 1 UV-928 (1,286) 2 Values in italics are deemed to be of low confidence Values in red are based on new data
  • 20. Scoring Summary Max. BCF B Score P Score PB Score UV-328 5,580 3 3 3 UV-P 1,623 2 3 3 UV-234 1,286 2 3 3 UV-326 7,093 3 3 3 UV-329 461 1 3 2 UV-360 1.5 1 3 2 UV-928 (1,286) 2 3 3 Values in italics are deemed to be of low confidence Values in red are based on new data
  • 21. Scoring Summary Max. BCF B Score P Score PB Score Hazard Score Total Score UV-328 5,580 3 3 3 3 6 UV-P 494 2 3 3 3 6 UV-234 1,286 2 3 3 2 5 UV-326 895 3 3 3 1 4 UV-329 461 1 3 2 2 4 UV-360 1.5 1 3 2 1 3 UV-928 (1,286) 2 3 3 1 4 Values in italics are deemed to be of low confidence Values in red are based on new data
  • 22. Comparison of Scores & REACH Criteria B Score P Score PB Score Hazard Score Total Score REACH Criteria UV-328 3 3 3 3 6 vP, vB, T UV-P 2 3 3 3 6 vP, not B, not T UV-234 2 3 3 2 5 vP, not B, not T UV-326 3 3 3 1 4 vP, vB, not T UV-329 1 3 2 2 4 vP, not B, not T UV-360 1 3 2 1 3 vP, not B, not T UV-928 2 3 3 1 4 vP, not B, not T Values in italics are deemed to be of low confidence Values in red are based on new data
  • 23. Comparison of Bioaccumulation & Toxicity Hazards UV-328 UV-P UV-234 UV-329 UV-928 UV-326 UV-360 1,000 5,000 Bioaccumulation (BCF) Hazard Score 1 (low toxicity) Hazard Score 2 (medium toxicity) Hazard Score 3 (high toxicity) 0
  • 25. Conclusions • Of the alternatives considered, only UV-326 (vPvB) meets the REACH criteria for identification as PBT or vPvB based on available data. • Based on the hazard assessment, the most attractive alternatives include UV-329, UV-360, & UV-234. • Bioaccumulation score for UV-928 should be confirmed in new tests. • Assessments are subject to change based on new data.
  • 26. Recommendations • Consider phase-out of UV-328 (and UV-320, UV-327, UV-350) in existing applications and avoid use in new applications. • Hazard assessments can be used to identify other substances of concern (flame retardants, plasticizers, etc.) and safer alternatives. • In today’s regulatory environment, assessing hazards is as important as assessing performance, cost, and commercial availability. Make it part of your component selection process.
  • 27. Thank you for your attention! Jim Botkin www.botkinchemie.com (732) 309-3476 jim@botkinchemie.com DISCLAIMER: Although the information and recommendations set forth herein (hereinafter "information") are presented in good faith and believed to be correct as of the date hereof, BotkinChemie makes no representation as to the completeness or accuracy thereof. Information is supplied upon the condition that persons receiving it will make their own determinations as to its suitability for their purpose prior to its use. In no event will BotkinChemie be responsible for damages of any nature whatsoever resulting from the use of or reliance upon information. No representations or warranties either expressed or implied, or merchantability, fitness for a particular purpose or of any other nature are made hereunder with respect to information for any substance to which information refers. No statements herein are to be construed as inducements to infringe any valid patent. This presentation © 2021 James H. Botkin dba BotkinChemie